RAINIER GROUP INVESTMENT ADVISORY LLC
Legal name: COLDSTREAM WEALTH MANAGEMENT
CRD #132486 SEC #801-63467 BELLEVUE, WA 425-463-3000
SEC Registered
Total AUM
$659.3M
Discretionary
$626.7M
Employees
14
Clients
26
Accounts
290
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Washington
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jun 30, 2020
- Branch Offices
- 1
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BELL, NORMAN, EUGENE | I | MANAGER AND PRESIDENT | NA | Control |
| BELL, NORMAN, EUGENE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BELL, NORMAN, EUGENE | I | MANAGER AND PRESIDENT | NA | Control |
| BELL, NORMAN, EUGENE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BELL, NORMAN, EUGENE | I | PRESIDENT | NA | Control |
| BELL, NORMAN, EUGENE | I | PRESIDENT | NA | Control |
| BELL, NORMAN, EUGENE | I | PRESIDENT | NA | Control |
| BELL, NORMAN, EUGENE | I | MANAGER AND PRESIDENT | NA | Control |
| BELL, NORMAN, EUGENE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BELL, NORMAN, EUGENE | I | PRESIDENT | NA | Control |
| BELL, NORMAN, EUGENE | I | MANAGER AND PRESIDENT | NA | Control |
| BELL, NORMAN, EUGENE | I | FOUNDER AND PRINCIPAL | NA | Control |
| BELL, NORMAN, EUGENE | I | FOUNDER AND PRINCIPAL | NA | Control |
| BELL, NORMAN, EUGENE | I | FOUNDER AND PRINCIPAL | NA | Control |
| BELL, NORMAN, EUGENE | I | FOUNDER AND PRINCIPAL | NA | Control |
| BELL, NORMAN, EUGENE | I | PRESIDENT | NA | Control |
| BELL, NORMAN, EUGENE | I | FOUNDER AND PRINCIPAL | NA | Control |
| BELL, NORMAN, EUGENE | I | FOUNDER AND PRINCIPAL | NA | Control |
| BELL, NORMAN, EUGENE | I | FOUNDER AND PRINCIPAL | NA | Control |
| BELL, NORMAN, EUGENE | I | FOUNDER AND PRINCIPAL | NA | Control |
| BELL, NORMAN, EUGENE | I | FOUNDER AND PRINCIPAL | NA | Control |
| FITZWILSON, KEVIN, MICHAEL | I | GOVERNOR- LLC ; MANAGING SHAREHOLDER | NA | Control |
| FITZWILSON, KEVIN, MICHAEL | I | GOVERNOR- LLC ; MANAGING SHAREHOLDER | NA | Control |
| FITZWILSON, KEVIN, MICHAEL | I | GOVERNOR- LLC ; MANAGING SHAREHOLDER | NA | Control |
| FITZWILSON, KEVIN, MICHAEL | I | GOVERNOR- LLC ; MANAGING SHAREHOLDER | NA | Control |
| FITZWILSON, KEVIN, MICHAEL | I | GOVERNOR- LLC ; MANAGING SHAREHOLDER | NA | Control |
| FITZWILSON, KEVIN, MICHAEL | I | GOVERNOR- LLC ; MANAGING SHAREHOLDER | NA | Control |
| PELLEGRINO, MARK | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| PELLEGRINO, MARK | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| PELLEGRINO, MARK | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| PELLEGRINO, MARK | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| PELLEGRINO, MARK, JOSEPH | I | MANAGING PRINCIPAL | NA | Control |
| PELLEGRINO, MARK, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PELLEGRINO, MARK, JOSEPH | I | MANAGING PRINCIPAL | NA | Control |
| PELLEGRINO, MARK, JOSEPH | I | MANAGING PRINCIPAL | NA | Control |
| PELLEGRINO, MARK, JOSEPH | I | MANAGING PRINCIPAL | NA | Control |
| PELLEGRINO, MARK, JOSEPH | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | NA | Control |
| PELLEGRINO, MARK, JOSEPH | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | NA | Control |
| PELLEGRINO, MARK, JOSEPH | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | NA | Control |
| PELLEGRINO, MARK, JOSEPH | I | PRESIDENT | NA | Control |
| PELLEGRINO, MARK, JOSEPH | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | NA | Control |
| PELLEGRINO, MARK, JOSEPH | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | NA | Control |
| PELLEGRINO, MARK, JOSEPH | I | MANAGING PRINCIPAL | NA | Control |
| PELLEGRINO, MARK, JOSEPH | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | NA | Control |
| PELLEGRINO, MARK, JOSEPH | I | PRESIDENT | NA | Control |
| PELLEGRINO, MARK, JOSEPH | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | NA | Control |
| PELLEGRINO, MARK, JOSEPH | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | NA | Control |
| PELLEGRINO, MARK, JOSEPH | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | NA | Control |
| PELLEGRINO, MARK, JOSEPH | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | NA | Control |
| PELLEGRINO, MARK, JOSEPH | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | NA | Control |
| PLATT, PHILIP, THOMAS | I | GOVERNOR- LLC; CHIEF OPERATING OFFICER | NA | Control |
| PLATT, PHILIP, THOMAS | I | GOVERNOR- LLC; CHIEF OPERATING OFFICER | NA | Control |
| PLATT, PHILIP, THOMAS | I | GOVERNOR- LLC; CHIEF OPERATING OFFICER | NA | Control |
| PLATT, PHILIP, THOMAS | I | GOVERNOR- LLC; CHIEF OPERATING OFFICER | NA | Control |
| PLATT, PHILIP, THOMAS | I | GOVERNOR- LLC; CHIEF OPERATING OFFICER | NA | Control |
| PLATT, PHILIP, THOMAS | I | GOVERNOR- LLC; CHIEF OPERATING OFFICER | NA | Control |
| YELLE, ERIKA, ENG | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| YELLE, ERIKA, ENG | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| YELLE, ERIKA, ENG | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| YELLE, ERIKA, ENG | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| YELLE, ERIKA, ENG | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| YELLE, ERIKA, ENG | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| YELLE, ERIKA, ENG | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| YOUNG, JILL, REBECCA | I | CHIEF COMPLIANCE OFFICER | NA | |
| YOUNG, JILL, REBECCA | I | CHIEF COMPLIANCE OFFICER | NA | |
| YOUNG, JILL, REBECCA | I | CHIEF COMPLIANCE OFFICER | NA | |
| YOUNG, JILL, REBECCA | I | CHIEF COMPLIANCE OFFICER | NA | |
| YOUNG, JILL, REBECCA | I | CHIEF COMPLIANCE OFFICER | NA | |
| YOUNG, JILL, REBECCA | I | CHIEF COMPLIANCE OFFICER | NA | |
| COLDSTREAM HOLDINGS INC | DE | SHAREHOLDER | E | Control |
| COLDSTREAM HOLDINGS INC | DE | SHAREHOLDER | E | Control |
| COLDSTREAM HOLDINGS INC | DE | SHAREHOLDER | E | Control |
| COLDSTREAM HOLDINGS INC | DE | SHAREHOLDER | E | Control |
| COLDSTREAM HOLDINGS INC | DE | SHAREHOLDER | E | Control |
| COLDSTREAM HOLDINGS INC | DE | SHAREHOLDER | E | Control |
| COLDSTREAM HOLDINGS INC | DE | SHAREHOLDER | E | Control |
| RAINIER GROUP INC. | DE | MEMBER | E | Control |
| RAINIER GROUP INC. | DE | MEMBER | E | Control |
| RAINIER GROUP INC. | DE | MEMBER | E | Control |
| RAINIER GROUP INC. | DE | MEMBER | E | Control |
| RAINIER GROUP INC. | DE | MEMBER | E | Control |
| RAINIER GROUP INC. | DE | MEMBER | E | Control |
| RAINIER GROUP INC. | DE | MEMBER | E | Control |
| RAINIER GROUP INC. | DE | SHAREHOLDER | E | Control |
| RAINIER GROUP INC. | DE | SHAREHOLDER | E | Control |
| RAINIER GROUP INC. | DE | MEMBER | E | Control |
| RAINIER GROUP INC. | DE | MEMBER | E | Control |
| RAINIER GROUP INC. | DE | MEMBER | E | Control |
| RAINIER GROUP INC. | DE | MEMBER | E | Control |
| RAINIER GROUP INC. | DE | MEMBER | E | Control |
| RAINIER GROUP INC. | DE | MEMBER | E | Control |
| RAINIER GROUP INC. | DE | MEMBER | E | Control |
| RAINIER GROUP INC. | DE | MEMBER | E | Control |
| RAINIER GROUP INC. | DE | MEMBER | E | Control |
| RAINIER GROUP INC. | DE | MEMBER | E | Control |
| RAINIER GROUP INC. | DE | MEMBER | E | Control |
| RAINIER GROUP INC. | DE | MEMBER | E | Control |
| RAINIER GROUP INC. | DE | MEMBER | E | Control |
| RAINIER GROUP INC. | DE | MEMBER | E | Control |
| RAINIER GROUP INC. | DE | MEMBER | E | Control |
| RAINIER GROUP INC. | DE | MEMBER | E | Control |
| PELLEGRINO, MARK, JOSEPH | I | MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER | A | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| FITZWILSON, KEVIN, MICHAEL | I | COLDSTREAM HOLDINGS INC. | D | Control |
| FITZWILSON, KEVIN, MICHAEL | I | COLDSTREAM HOLDINGS INC. | D | Control |
| BELL, NORMAN, EUGENE | I | RAINIER GROUP INC. | C | Control |
| BELL, NORMAN, EUGENE | I | RAINIER GROUP INC. | C | Control |
| BELL, NORMAN, EUGENE | I | RAINIER GROUP INC. | C | Control |
| BELL, NORMAN, EUGENE | I | RAINIER GROUP INC. | C | Control |
| BELL, NORMAN, EUGENE | I | RAINIER GROUP INC. | C | Control |
| BELL, NORMAN, EUGENE | I | RAINIER GROUP INC. | C | Control |
| BELL, NORMAN, EUGENE | I | RAINIER GROUP INC. | C | Control |
| BELL, NORMAN, EUGENE | I | RAINIER GROUP INC. | C | Control |
| BELL, NORMAN, EUGENE | I | RAINIER GROUP INC. | C | Control |
| BELL, NORMAN, EUGENE | I | RAINIER GROUP INC. | C | Control |
| BELL, NORMAN, EUGENE | I | RAINIER GROUP INC. | C | Control |
| FITZWILSON, KEVIN, MICHAEL | I | COLDSTREAM HOLDINGS INC | C | Control |
| FITZWILSON, KEVIN, MICHAEL | I | COLDSTREAM HOLDINGS INC | C | Control |
| FITZWILSON, KEVIN, MICHAEL | I | COLDSTREAM HOLDINGS INC | C | Control |
| FITZWILSON, KEVIN, MICHAEL | I | COLDSTREAM HOLDINGS INC | C | Control |
| FITZWILSON, KEVIN, MICHAEL | I | COLDSTREAM HOLDINGS INC | C | Control |
| GRUBER, ROBERT, MICHAEL | I | RAINIER GROUP INC. | C | Control |
| GRUBER, ROBERT, MICHAEL | I | RAINIER GROUP INC. | C | Control |
| GRUBER, ROBERT, MICHAEL | I | RAINIER GROUP INC. | C | Control |
| GRUBER, ROBERT, MICHAEL | I | RAINIER GROUP INC. | C | Control |
| GRUBER, ROBERT, MICHAEL | I | RAINIER GROUP INC. | C | Control |
| GRUBER, ROBERT, MICHAEL | I | RAINIER GROUP INC. | C | Control |
| GRUBER, ROBERT, MICHAEL | I | RAINIER GROUP INC. | C | Control |
| GRUBER, ROBERT, MICHAEL | I | RAINIER GROUP INC. | C | Control |
| GRUBER, ROBERT, MICHAEL | I | RAINIER GROUP INC. | C | Control |
| GRUBER, ROBERT, MICHAEL | I | RAINIER GROUP INC. | C | Control |
| GRUBER, ROBERT, MICHAEL | I | RAINIER GROUP INC. | C | Control |
| GRUBER, ROBERT, MICHAEL | I | RAINIER GROUP INC. | C | Control |
| GRUBER, ROBERT, MICHAEL | I | RAINIER GROUP INC. | C | Control |
| GRUBER, ROBERT, MICHAEL | I | RAINIER GROUP INC. | C | Control |
| GRUBER, ROBERT, MICHAEL | I | RAINIER GROUP INC. | C | Control |
| GRUBER, ROBERT, MICHAEL | I | RAINIER GROUP INC. | C | Control |
| GRUBER, ROBERT, MICHAEL | I | RAINIER GROUP INC. | C | Control |
| GRUBER, ROBERT, MICHAEL | I | RAINIER GROUP INC. | C | Control |
| GRUBER, ROBERT, MICHAEL | I | RAINIER GROUP INC. | C | Control |
| GRUBER, ROBERT, MICHAEL | I | RAINIER GROUP INC. | C | Control |
| GRUBER, ROBERT, MICHAEL | I | RAINIER GROUP INC. | C | Control |
| GRUBER, ROBERT, MICHAEL | I | RAINIER GROUP INC. | C | Control |
| GRUBER, ROBERT, MICHAEL | I | RAINIER GROUP INC. | C | Control |
| GRUBER, ROBERT, MICHAEL | I | RAINIER GROUP INC. | C | Control |
| GRUBER, ROBERT, MICHAEL | I | RAINIER GROUP INC. | C | Control |
| ROBERTS, DAVID, GORDON | I | RAINIER GROUP INC | C | Control |
| ROBERTS, DAVID, GORDON | I | RAINIER GROUP INC | C | Control |
| ROBERTS, DAVID, GORDON | I | RAINIER GROUP INC | C | Control |
| ROBERTS, DAVID, GORDON | I | RAINIER GROUP INC | C | Control |
| ROBERTS, DAVID, GORDON | I | RAINIER GROUP INC | C | Control |
| ROBERTS, DAVID, GORDON | I | RAINIER GROUP INC | C | Control |
| ROBERTS, DAVID, GORDON | I | RAINIER GROUP INC | C | Control |
| ROBERTS, DAVID, GORDON | I | RAINIER GROUP INC | C | Control |
| ROBERTS, DAVID, GORDON | I | RAINIER GROUP INC | C | Control |
Registrations
Federal
IA
Jun 30, 2020 REGISTERED
Notice Filings (11)
AZ CA ID LA NY OH OR TX UT VA WA
Address
1 - 100TH AVENUE NE, SUITE 102BELLEVUE, WA 98004
United States
Phone: 425-463-3000